Contents

Preface xv

Chapter 1 Introduction
1.1 Database System Applications 1 1.7 Transaction Management 15
1.2 Database Systems versus File 1.8 Database System Structure 16
Systems 3 1.9 Application Architectures 18
1.3 View of Data 5 1.10 History of Database Systems 18
1.4 Data Models 7 1.11 Summary 21
1.5 Database Languages 11 Exercises 23
1.6 Database Users and Administrators 13 Bibliographical Notes 24

PART 1 DATA MODELS

Chapter 2 Entity-Relationship Model

2.1 Basic Concepts 27 2.9 Reduction of an E-R Schema
2.2 Constraints 33 to Tables 62
2.3 Keys 35 2.10 The Unified Modeling Language
2.4 Design Issues 37 UML 68
2.5 Entity-Relationship Diagram 42 2.11 Summary 70
2.6 Weak Entity Sets 47 Exercises 72
2.7 Extended E-R Features 49 Bibliographical Notes 77
2.8 Design of an E-R Database Schema 56

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viii Contents

Chapter 3 Relational Model

3.1 Structure of Relational Databases 79
3.2 The Relational Algebra 89
3.3 Extended Relational-Algebra
Operations 103
3.4 Modification of the Database 111
3.5 Views 113
3.6 The Tuple Relational Calculus 118
3.7 The Domain Relational Calculus 122
3.8 Summary 126
Exercises 127
Bibliographical Notes 131

PART 2 RELATIONAL DATABASES

Chapter 4 SQL
4.1 Background 135 4.10 Joined Relations 163
4.2 Basic Structure 137 4.11 Data-Definition Language 168
4.3 Set Operations 144 4.12 Embedded SQL 172
4.4 Aggregate Functions 146 4.13 Dynamic SQL 175
4.5 Null Values 148 4.14 Other SQL Features 180
4.6 Nested Subqueries 149 4.15 Summary 182
4.7 Views 154 Exercises 183
4.8 Complex Queries 155 Bibliographical Notes 186
4.9 Modification of the Database 157

Chapter 5 Other Relational Languages

5.1 Query-by-Example 189 5.4 Summary 219
5.2 Datalog 203 Exercises 220
5.3 User Interfaces and Tools 217 Bibliographical Notes 223

Chapter 6 Integrity and Security

6.1 Domain Constraints 225 6.6 Authorization in SQL 244
6.2 Referential Integrity 227 6.7 Encryption and Authentication 248
6.3 Assertions 232 6.8 Summary 250
6.4 Triggers 233 Exercises 252
6.5 Security and Authorization 238 Bibliographical Notes 254
 Contents ix

Chapter 7 Relational-Database Design

7.1 First Normal Form 257 7.7 Third Normal Form 284
7.2 Pitfalls in Relational-Database 7.8 Fourth Normal Form 289
Design 258 7.9 More Normal Forms 293
7.3 Functional Dependencies 260 7.10 Overall Database Design Process 293
7.4 Decomposition 271 7.11 Summary 297
7.5 Desirable Properties of Exercises 299
Decomposition 275 Bibliographical Notes 303
7.6 Boyce – Codd Normal Form 279

PART 3 OBJECT-BASED DATABASES AND XML

Chapter 8 Object-Oriented Databases

8.1 Need for Complex Data Types 307 8.6 Persistent Java Systems 330
8.2 The Object-Oriented Data Model 308 8.7 Summary 331
8.3 Object-Oriented Languages 318 Exercises 332
8.4 Persistent Programming Languages 318 Bibliographical Notes 333
8.5 Persistent C++ Systems 322

Chapter 9 Object-Relational Databases

9.1 Nested Relations 335 9.7 Object-Oriented versus
9.2 Complex Types 337 Object-Relational 356
9.3 Inheritance 342 9.8 Summary 357
9.4 Reference Types 346 Exercises 358
9.5 Querying with Complex Types 348 Bibliographical Notes 360
9.6 Functions and Procedures 351

Chapter 10 XML
10.1 Background 361 10.6 Storage of XML Data 381
10.2 Structure of XML Data 364 10.7 XML Applications 384
10.3 XML Document Schema 367 10.8 Summary 386
10.4 Querying and Transformation 372 Exercises 388
10.5 The Application Program Interface 380 Bibliographical Notes 390
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PART 4 DATA STORAGE AND QUERYING

Chapter 11 Storage and File Structure

11.1 Overview of Physical Storage 11.7 Organization of Records in Files 422
Media 393 11.8 Data-Dictionary Storage 426
11.2 Magnetic Disks 396 11.9 Storage for Object-Oriented
11.3 RAID 402 Databases 428
11.4 Tertiary Storage 410 11.10 Summary 438
11.5 Storage Access 412 Exercises 440
11.6 File Organization 415 Bibliographical Notes 443

Chapter 12 Indexing and Hashing

12.1 Basic Concepts 445 12.7 Comparison of Ordered Indexing and
12.2 Ordered Indices 446 Hashing 477
12.3 B+ -Tree Index Files 453 12.8 Index Definition in SQL 479
12.4 B-Tree Index Files 464 12.9 Multiple-Key Access 480
12.5 Static Hashing 465 12.10 Summary 487
12.6 Dynamic Hashing 471 Exercises 489
Bibliographical Notes 491

Chapter 13 Query Processing

13.1 Overview 493 13.6 Other Operations 514
13.2 Measures of Query Cost 495 13.7 Evaluation of Expressions 518
13.3 Selection Operation 496 13.8 Summary 523
13.4 Sorting 501 Exercises 525
13.5 Join Operation 503 Bibliographical Notes 526

Chapter 14 Query Optimization

14.1 Overview 529 14.4 Choice of Evaluation Plans 544
14.2 Estimating Statistics of Expression 14.5 Materialized Views 553
Results 531 14.6 Summary 557
14.3 Transformation of Relational Exercises 559
Expressions 537 Bibliographical Notes 561
 Contents xi

PART 5 TRANSACTION MANAGEMENT

Chapter 15 Transactions
15.1 Transaction Concept 565 15.7 Implementation of Isolation 583
15.2 Transaction State 568 15.8 Transaction Definition in SQL 584
15.3 Implementation of Atomicity and 15.9 Testing for Serializability 584
Durability 571 15.10 Summary 586
15.4 Concurrent Executions 573 Exercises 588
15.5 Serializability 576 Bibliographical Notes 590
15.6 Recoverability 582

Chapter 16 Concurrency Control

16.1 Lock-Based Protocols 591 16.7 Insert and Delete Operations 620
16.2 Timestamp-Based Protocols 604 16.8 Weak Levels of Consistency 623
16.3 Validation-Based Protocols 607 16.9 Concurrency in Index Structures 625
16.4 Multiple Granularity 609 16.10 Summary 629
16.5 Multiversion Schemes 612 Exercises 632
16.6 Deadlock Handling 615 Bibliographical Notes 636

Chapter 17 Recovery System

17.1 Failure Classification 639
17.2 Storage Structure 640
17.3 Recovery and Atomicity 644
17.4 Log-Based Recovery 645
17.5 Shadow Paging 653
17.6 Recovery with Concurrent
Transactions 657
17.7 Buffer Management 660
17.8 Failure with Loss of Nonvolatile
Storage 663
17.9 Advanced Recovery Techniques 664
17.10 Remote Backup Systems 672
17.11 Summary 674
Exercises 677
Bibliographical Notes 679

PART 6 DATABASE SYSTEM ARCHITECTURE

Chapter 18 Database System Architectures

18.1 Centralized and Client – Server 18.5 Network Types 701
Architectures 683 18.6 Summary 703
18.2 Server System Architectures 687 Exercises 705
18.3 Parallel Systems 691 Bibliographical Notes 707
18.4 Distributed Systems 697
xii Contents

Chapter 19 Distributed Databases

19.1 Homogeneous and Heterogeneous
Databases 709
19.2 Distributed Data Storage 710
19.3 Distributed Transactions 713
19.4 Commit Protocols 716
19.5 Concurrency Control in Distributed
Databases 722
19.6 Availability 730
19.7 Distributed Query Processing 735
19.8 Heterogeneous Distributed
Databases 738
19.9 Directory Systems 741
19.10 Summary 746
Exercises 749
Bibliographical Notes 752

Chapter 20 Parallel Databases

20.1 Introduction 755 20.6 Interoperation Parallelism 770
20.2 I/O Parallelism 756 20.7 Design of Parallel Systems 772
20.3 Interquery Parallelism 760 20.8 Summary 773
20.4 Intraquery Parallelism 761 Exercises 775
20.5 Intraoperation Parallelism 762 Bibliographical Notes 777

PART 7 OTHER TOPICS

Chapter 21 Application Development and Administration
21.1 Web Interfaces to Databases 781 21.6 Legacy Systems 809
21.2 Performance Tuning 790 21.7 Summary 810
21.3 Performance Benchmarks 798 Exercises 812
21.4 Standardization 802 Bibliographical Notes 815
21.5 E-Commerce 806

Chapter 22 Advanced Querying and Information Retrieval

22.1 Decision-Support Systems 817 22.5 Information-Retrieval Systems 846
22.2 Data Analysis and OLAP 819 22.6 Summary 856
22.3 Data Mining 830 Exercises 859
22.4 Data Warehousing 842 Bibliographical Notes 861

Chapter 23 Advanced Data Types and New Applications

23.1 Motivation 863 23.5 Mobility and Personal Databases 880
23.2 Time in Databases 864 23.6 Summary 885
23.3 Spatial and Geographic Data 866 Exercises 887
23.4 Multimedia Databases 877 Bibliographical Notes 889

Chapter 24 Advanced Transaction Processing
24.1 Transaction-Processing Monitors 891
24.2 Transactional Workflows 895
24.3 Main-Memory Databases 901
24.4 Real-Time Transaction Systems 903
24.5 Long-Duration Transactions 904
PART 8 CASE STUDIES
Chapter 25 Oracle
25.1 Database Design and Querying
Tools 921
25.2 SQL Variations and Extensions 923
25.3 Storage and Indexing 925
25.4 Query Processing and
Optimization 934
Chapter 26 IBM DB2 Universal Database
26.1 Database Design and Querying
Tools 950
26.2 SQL Variations and Extensions 951
26.3 Storage and Indexing 953
26.4 Query Processing and
Optimization 956
26.5 Concurrency Control and
Recovery 960
Chapter 27 Microsoft SQL Server
27.1 Management, Design, and Querying
Tools 969
27.2 SQL Variations and Extensions 975
27.3 Storage and Indexing 980
27.4 Query Processing and
Optimization 982
27.5 Concurrency and Recovery 986
27.6 System Architecture 991
27.7 Data Access 992
Contents xiii
24.6 Transaction Management in
Multidatabases 910
24.7 Summary 914
Exercises 916
Bibliographical Notes 917
25.5 Concurrency Control and
Recovery 940
25.6 System Architecture 942
25.7 Replication, Distribution, and External
Data 945
25.8 Database Administration Tools 946
Bibliographical Notes 947
26.6 System Architecture 963
26.7 Replication, Distribution, and External
Data 965
26.8 Database Administration Tools 965
26.9 Summary 967
Bibliographical Notes 967
27.8 Distribution and Replication 994
27.9 Full-Text Queries on Relational
Data 998
27.10 Data Warehousing and Analysis
Services 999
27.11 XML and Web Support 1002
27.12 Summary 1005
Bibliographical Notes 1005
xiv Contents

PART 9 APPENDICES
Appendix A Network Model (contents online)
A.1 Basic Concepts A1 A.6 DBTG Set-Processing Facility A22
A.2 Data-Structure Diagrams A2 A.7 Mapping of Networks to Files A27
A.3 The DBTG CODASYL Model A7 A.8 Summary A31
A.4 DBTG Data-Retrieval Facility A13 Exercises A32
A.5 DBTG Update Facility A20 Bibliographical Notes A35

Appendix B Hierarchical Model (contents online)

B.1 Basic Concepts B1 B.6 Mapping of Hierarchies to Files B22
B.2 Tree-Structure Diagrams B2 B.7 The IMS Database System B24
B.3 Data-Retrieval Facility B13 B.8 Summary B25
B.4 Update Facility B18 Exercises B26
B.5 Virtual Records B21 Bibliographical Notes B29

Appendix C Advanced Relational Design (contents online)

C.1 Multivalued Dependencies C1 C.4 Summary C10
C.2 Join Dependencies C5 Exercises C10
C.3 Domain-Key Normal Form C8 Bibliographical Notes C11

Bibliography 1007
Index 1043